Forms Index

This page provides links to PDF versions of SEC public forms and many of the rules, regulations, and schedules associated with these forms. To find a form, either select the appropriate category below or scroll through the full list of SEC forms in alphanumeric order. Please note that you will need Adobe Reader plug-in to view these forms (available for free from Adobe through our About Adobe Acrobat (PDF) page).

This list does not include Schedules and certain other non-Form Submissions that are included in the Code of Federal Regulations, including Schedule 13D and Schedule 13G which are separately hyperlinked. For more information, please visit the relevant Division’s webpage.

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Number Description Last Updated SEC Number Topic(s)
ADV-NR Appointment of agent for service of process by non-resident general partner and non-resident managing agent of an investment adviser (PDF)

SEC2565

 Investment Advisers Act of 1940, Investment Advisers
ADV-W Notice of withdrawal from registration as investment adviser (PDF)

SEC777

 Investment Advisers Act of 1940, Investment Advisers
ATS Initial operation report, amendment to initial operation report and cessation of operations report for alternative trading systems (PDF)

SEC2550

 Alternative Trading Systems
ATS-N NMS Stock Alternative Trading Systems (PDF)
Alternative Trading Systems
ATS-R Quarterly report of alternative trading systems activities (PDF)

SEC2551

 Alternative Trading Systems
BD Uniform application for broker-dealer registration (PDF)

SEC1490

 Broker-Dealers
BD-N Notice of registration as a broker-dealer for the purpose of trading security futures products pursuant to Section 15(b)(11) of the Securities Exchange Act of 1934 (PDF)

SEC1500

 Broker-Dealers
BDW Uniform request for broker-dealer withdrawal (PDF)

SEC122

 Broker-Dealers
C Form C (PDF)

SEC 2930

 Securities Act of 1933, Small Businesses
CA-1 Registration or exemption from registration as a clearing agency and for amendment to registration (PDF)

SEC1853

 Clearing Agencies
CB Tender offer/rights offering notification form (PDF)

SEC2560

 Proxy and Tender Offer, Securities Act of 1933, Securities Exchange Act of 1934
CFPORTAL Application or Amendment to Application for Registration or Withdrawal from Registration as Funding Portal Under the Securities Exchange Act of 1934 (PDF)
Funding Portal, Securities Exchange Act of 1934
CRS Customer Relationship Summary (PDF)

SEC 2942

 Securities Exchange Act of 1934, Broker-Dealers
CUSTODY Form Custody for Broker-Dealers (PDF)

SEC2897

 Securities Exchange Act of 1934, Broker-Dealers
D Notice of Exempt Offering of Securities

SEC1972

 Securities Act of 1933, Small Businesses
F-1 Registration statement for securities of certain foreign private issuers (PDF)

SEC1981

 Securities Act of 1933, International
F-10 Registration statement for securities of certain Canadian issuers (PDF)

SEC2292

 Securities Act of 1933, International
F-3 Registration statement for securities of certain foreign private issuers (PDF)

SEC1983

 Securities Act of 1933, International
F-4 Registration statement for securities of certain foreign private issuers issued in certain business combination transactions (PDF)

SEC2078

 Securities Act of 1933, International
F-6 Registration statement under the Securities Act of 1933 for depositary shares evidenced by American depositary receipts (PDF)

SEC2001

 Securities Act of 1933, International
F-7 Registration statement under the Securities Act of 1933 for securities of certain Canadian issuers offered for cash upon the exercise of rights granted to existing security holders (PDF)

SEC2289

 Securities Act of 1933, International
F-8 Registration statement under the Securities Act of 1933 for securities of certain Canadian issuers to be issued in exchange offers or a business combination (PDF)

SEC2290

 Securities Act of 1933, International
F-80 Registration statement for securities of certain Canadian issuers to be issued in exchange offers or a business combination (PDF)

SEC2282

 Securities Act of 1933, International
F-N Appointment of agent for service of process by foreign banks and foreign insurance companies (PDF)

SEC2306

 Securities Act of 1933
F-X Appointment of agent for service of process and undertaking (PDF)

SEC2288

 Securities Act of 1933, International
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